Compliance

We offer our consulting services to regulated firms in the UK on a commercial basis. Our team comprises individuals with first rate educational and experiential qualifications

Our rates are significantly lower than those charged by the large consultancy firms. This is because we keep our overheads to a minimum, reflecting today's austere economic environment

Contact us to find out how The Compliance Exchange can help your organisation to minimise regulatory and reputational risk. Telephone: 07960 636814

Some of the areas in which we can assist firms are:

Documentation

User friendly Compliance Manual tailored for your business
Systems & Controls and Corporate Governance Manual
Compliance files set-up
Monitoring programmes
Key board minute and agenda templates
Know Your Customer procedures
Remuneration Code policies
Bribery Act "adequate procedures"
Stewardship Code policies
Provision of disclaimers
Pillar III disclosures

Support

Applications for authorisation
Compliance support
Enforcement support
Section 166 skilled person reports
Section 165 information provision requests
Expert witness reports
Periodic review visits
Provision of non-executives

Review

Wealth Management Review
Anti-money laundering health reviews
Complaints procedures reviews
Review of financial promotions
Review of your website as a financial promotion
Compliance health check on website

Research

Due Diligence Service
Expert opinions
Regulatory updates
FSA Handbook summary

Training

General compliance training
Anti-money laundering and counterterrorist finance training
Anti-bribery training

Commercial and Technical Advice

The team has significant commercial and technical knowledge of financial services businesses, capital markets and alternative asset classes. Accordingly we can provide independent expert advice on a wide variety of financial and technical matters